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The Securities and Exchange Commission has proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their “family offices” can continue to be excluded from the Investment Advisers Act of 1940.

SNW Asset Management, a wholly owned subsidiary of Seattle-Northwest Securities, hired Tim Benzel as an assistant portfolio manager.

New York watchdog Andrew Cuomo has nabbed another firm for allegedly bartering investment deals with the state pension funds without a required securities license.

Seeking to rebut concerns the Federal Deposit Insurance Corp. would use its new resolution powers over large firms to play favorites with creditors, the agency released a proposal Tuesday designed to severely limit who could receive extra relief in a failure.

Expert investors and analysts have been saying it for years: Economies in the emerging markets have become so sophisticated that the so-called frontier markets are becoming the place to find richer yields.

In their search for financial security, younger insurance policyholders are finding what they need in whole life insurance policies.

Eaton Vance Management has launched the Eaton Vance Richard Bernstein Multi-Market Equity Strategy Fund, which will be managed by Richard Bernstein, chief executive officer and chief investment officer of sub-advisor Richard Bernstein Advisors.

The Investment Company Institute’s board of governors has elected its chairman, Edward C. Bernard, vice chairman of T. Rowe Price, to serve a second one-year term.

How to fire clients you don’t like working with, impose higher account minimums and make centers of influence work for you.

Life insurance sales in banks have increased for the past five quarters, but sales practices suggest not everyone is riding that wave.

The Russell Frontier Index offers broad coverage of African countries, which had been previously underrepresented.

If the measure is approved by the CFP Board in November, the increase in fees could be implements by July 1.

Citigroup has become the second fund administrator to implement a new technology platform specifically designed for servicing hedge funds-of-funds.

The Boston fund giant is looking to hire a senior investment analyst within its Asset Allocation Division, an arm that “engineers and manages” more than $230 billion in assets

Despite positive performance from “risky asset markets,” the typical U.S. corporate pension plan saw its funding ratio drop by 1% thanks to the drowning effects of high rising liabilities, a new study claims. In a Friday analysis, UBS Global Asset ...

Bank of America CEO Brian Moynihan on Friday defended large banking companies, arguing they are needed to help multinational companies based here and the U.S. economy in general.

Three months after the regulatory reform bill ordered the OTS' elimination over the next year, efforts to bring the agency into the OCC fold have been plagued with bitterness, communication problems, unease on job placement and rampant conflicts.

As part of the magazine's 40th Anniversary celebration, the publication honored six practitioners that have made significant contributions to the financial planning industry.

I hadn't been at the lunch table more than 20 minutes. And my tablemate - the chief regulatory officer for a stock exchange based in Kansas - might as well have just said, "put a fork in it."

Heartland Financial, a diversified financial services company that provides wealth management and banking services, has hired Brian J. Fox as executive vice president of operations, in charge of information technology, deposit operations, treasury management, customer support and human resources. Fox replaced Edward H. Everts, who is retiring on Oct. 16 after 18 years with the company.